SVP, Chief Compliance Officer · Osaic Wealth, Inc.
Shawn Michael Mihal
CRD 3262384 · Named on Form ADV at 3 SEC-registered advisers
At a glance
Osaic Wealth, Inc., an SEC-registered broker-dealer firm based in Scottsdale, AZ with $234.9 billion in regulatory assets, lists Shawn Michael Mihal on its Form ADV as SVP, Chief Compliance Officer. The SEC filings also name Shawn at 2 other registered advisers.
Firms and roles
- Osaic Wealth, Inc.SVP, Chief Compliance OfficerBroker-dealer firm · Scottsdale, AZ · $235B in regulatory assets
- Osaic Advisory Services, LLCSVP, Chief Compliance OfficerWealth manager · Atlanta, GA · $15B in regulatory assets
- Vision2020 Wealth Management Corp.SVP, Chief Compliance OfficerAsset manager · Scottsdale, AZ · $0M in regulatory assets
AtlasMembers
Shawn’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at each firm
- 3 firmsLocked
- Control-person status
- Locked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
SEC adviser record
- Registered since
- 2005 (21 years)
- Designations
- None on file
- Exams
- Series 66
- Registered in
- 2 states
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
Shawn’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 6 firmsLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings (6)
- James Dale PriceChairman, Osaic Wealth, Inc.
- Matthew Adam SchlueterEVP, Operations and Technology Solutions, Director, Osaic Wealth, Inc.
- Erinn June FordDirector, Osaic Wealth, Inc.
- Christopher Mills MitchellCorporate Treasurer, Financial Principal, Osaic Wealth, Inc.
- Shannon ReidCEO, President, Director, Osaic Wealth, Inc.
1 more person named with Shawn on the same filings, with titles and firms. Free in Atlas with a free account.
See all 6 freeSomething wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Shawn’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.